The Client: ERISA plans/institutional management
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April 5, 2019Why Big Firms Have Paid Billions in ERISA Class ActionsNonprofit finds 201 settlements or verdicts involving the largest 1,700 public and private companies.No Comments
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January 24, 2019Maryland, Nevada Push for State-Level Fiduciary RulesThe Maryland legislature is expected to put forward a bill while Nevada introduced a fiduciary rule to implement legislation passed in 2017.No Comments
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December 27, 2018Oregon Ready to Help Other States Set Up Auto-IRA ProgramsThe state’s OregonSaves program has signed up 48,000 employees since launching in July 2017.No Comments
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December 17, 2018Edward Jones 401(k) Lawsuit Settlement Leaves Little More than $10 Payouts for Some ParticipantsYet the attorneys might receive more than $1 million.Last Comment: December 17, 2018
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December 4, 2018Warning to FAs: IRA Rollovers Are in Regulators' CrosshairsSome advisors go as far as treating rollovers as if the Department of Labor’s fiduciary rule were still in effect.No Comments
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November 12, 2018DOL Proposes Auto-Portability for 401(k) PlansThe proposal is aimed at preventing of “leakage” from the plans when employees change jobs.No Comments
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November 8, 2018Despite Its Death, Here's How the DOL Rule is Still Causing FAs to Change Their WaysMajority of advisors say they’re likely to make changes as a direct result of the rule.No Comments
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November 6, 2018UBS Zeroes in on FAs Serving Small 401(k) PlansThe move is expected to drum up more business for UBS’s reps.No Comments
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October 22, 2018Forget the DOL Rule or the SEC's Reg BI... Financial Literacy is Key to Protection, RBC Advisor SaysFT 401 advisor says the first line of defense of retirement plan participants are their plan sponsors.No Comments
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October 19, 2018DOL Rule Saga Isn't Over... Agency Plans Roll Out of a Final Fiduciary Rule Next SeptemberThe agency plans to revise the final regulation in light of the Fifth Circuit’s decision to vacate the rule this spring.Last Comment: June 21, 2019
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